Regulatory Requirements for Selling Financial Products Updates Module 8: Selling Practice in Hong Kong

Course Code:

PE4200245

Start Date:

To Be Advised

Hours:

2.0

Level:

Short Course

Application Form

Email:

peak@vtc.edu.hk

Enquiry:

Tel:28361922

Programme Contents:

• Sharing on the latest case of selling of investment products

- Product due diligence

- KYC and customer risk profiling

- Suitability assessment and selling practices

- Monitoring and review

- Staff training

• Latest requirements on the distribution of bonds

- Introduction of bond investment

- Key control and procedure in the distribution of bonds

Teaching Language

All classes are conducted in Cantonese, supplemented with English terminology. (Except courses are specified conducted in English)

Continuing Professional Development (CPD)/Continuous Professional Training (CPT) hours

IA CPD Hours: 2

MPFA Non-core CPD Hours: 2

SFC CPT Hours: 2

HKMA ECF CPD Hours 2

Course Code	Programme	Level
PE4200087	Regulatory Requirements for Selling Financial Products Updates Module 1: Sales Compliance Review (Virtual class through Microsoft Teams)	Short Course
PE4200088	Regulatory Requirements for Selling Financial Products Updates Module 2: Selling Practice Updates	Short Course
PE4200172	Regulatory Requirements for Selling Financial Products Updates Module 4: Customer Due Diligence Review & Update	Short Course
PE4200244	Regulatory Requirements for Selling Financial Products Updates Module 7 : Latest Banking/Securities Compliance (Virtual class through Microsoft Teams)	Short Course

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